FINRA experienced an issue this morning with the processing of Monthly OTC Transparency Data, thereby causing a publication delay for the month of July 2022 Non-ATS monthly data and ATS and Non-ATS Block data on the OTC Transparency Data website.
The issue has now been resolved and all files and data have been published on the website.
If you have any questions, please contact ATS
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us during this webinar series as we discuss topics related to the following areas:
transitioning registration compliance workflows to FINRA Gateway,
continuing education platform changes
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information NEW FOR 2022
Market Access Rule
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Variable Annuities
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Consolidated Audit Trail (CAT)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 from October 31, 2022, to January 31, 2023. The proposed rule change would not
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
I use inverse funds to hedge gains in other investments. I understand leveraged and inverse funds and know the risks involved. My portfolio is up 8% already this year, whereas the S&P is down ~14% since the beginning of 2022.
I oppose any restrictions or limitations on my right to invest in publicly available investments. I don't need to pass any test to be able to invest
Summary
FINRA will conduct a Special Meeting of large firms on Monday, October 31, 2022, at 9:00 a.m. ET in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).1
It is important that all eligible large firms be represented by proxy or in person at the
